1. Introduction

1.1 General

This guidance gives details of the main prohibitions and restrictions covering the export of goods. It sets out the specific export licensing requirements of the:

• Department for Business Innovation and Skills (BIS) in relation to strategic goods (ie military goods and dual-use goods (civil goods that could have a military use))
• Department for Culture, Media and Sport in relation to cultural goods
• Home Office in relation to controlled drugs and drugs precursor chemicals

2. Prohibitions and restrictions in European Union (EU) and other legislation

2.1 General

Certain restrictions or prohibitions are imposed from time to time on the export of goods from the UK and from the customs territory of the EU whether via the UK or another member state.

Control of strategic exports.

Restrictions on the export of controlled drugs and drugs precursor chemicals.

Restrictions on the export of cultural goods.

There are also restrictions in force under other legislation. Further information may be obtained from the departments mentioned or from:

2.2 Agricultural products

Certain agricultural products subject to the Common Agricultural Policy (CAP) of the EU may only be exported to non-EU countries under a CAP export licence issued by the Rural Payments Agency (RPA) or by the equivalent authority in another member state. Further information may be obtained from the RPA. Agricultural products which are subject to a CAP charge on export to non-EU countries or to other member states may not be exported unless a security for the charge has been given. Security arrangements should be made with the RPA.

2.3 Conservation controls on endangered species to third countries only

Regulations on the implementation of the Convention on International Trade on Endangered Species of Wild Fauna and Flora (CITES) require an export permit be issued for those species subject to the control. The control also applies to any part or derivative made from those species such as furs, ivory, stuffed specimens and goods made from their skins. For further details, contact DEFRA:

Telephone: 0117 372 8168/8691

2.4 Animals (from Great Britain only):

Horses

Horses (including asses and mules) over 147cms in height to any European destination outside the UK, Channel Islands, Isle of Man and Republic of Ireland unless before shipment they satisfy certain requirements and have been rested in approved premises and have had veterinary examination or inspection if applicable. Thoroughbred horses accompanied by a Jockey Club certificate are automatically exempted from these requirements.

Ponies

Ponies (ie horses not exceeding 147cms in height) to any destination outside the UK, Channel Islands and Isle of Man unless before shipment they satisfy certain requirements as to minimum value and intended use and they have been rested and had veterinary inspection. In the case of a registered pony (ie a pony registered in any of the society stud books quoted in Section 42 of the Animal Health Act 1981 an export certificate is also required.

This has to be obtained before shipment from the secretary of the society with which the pony is registered.

Exemptions from some of the above requirements in respect of horses or ponies may be granted in certain cases. Full details can be obtained from the relevant departments listed below:

Telephone: 020 7904 6000

Telephone: 0131 556 8400

Telephone: 01222 825 111

Documents certifying that these requirements have been satisfied or that exemption has been granted must be handed to the master of the vessel or the pilot of the aircraft, who is required on demand to make them available to authorised officials for inspection.

Cattle, sheep, goats and swine

Cattle, sheep, goats and swine to any destination outside the EU, the Channel Islands and the Isle of Man, unless accompanied by a licence of exemption. The relevant document is required to be handed to the master of the vessel or pilot of the aircraft, who is required on demand to make it available to authorised officials for inspection. Further information can be obtained from the addresses mentioned above.

2.5 Cat and dog fur

The export of cat and dog fur, and products made from such fur is prohibited. Further advice can be obtained from the VAT, Excise Customs Helpline.

2.6 Counterfeit currency notes

Counterfeit currency notes (to third countries only) as defined in the Forgery and Counterfeiting Act 1981.

2.7 Protected coins

Protected coins (to third countries only) as defined in the Forgery and Counterfeiting Act 1981.

2.8 Counterfeit, pirated and patent infringing goods

Under EU legislation the export or re-export of counterfeit, pirated and patent infringing goods is prohibited if the relevant right holder or their authorised representative has lodged an intellectual property rights (IPR) application with HMRC.

The exceptions are goods of a non-commercial nature contained in travellers’ personal luggage and within the value limits for customs duty relief, grey market goods (eg parallel trade goods and overruns) and goods in free circulation in the EU moving between member states.

2.9 Controlled Drugs

International legislation

United Nations Convention against Illicit Traffic in Narcotic Drugs and Psychotropic Substances 1988 which defines the drugs and substances subject to international control.

UK legislation

Controlled drugs specified in the Misuse of Drugs Act 1971, as amended, and the Misuse of Drugs Regulations 2001, as amended, including cocaine, diamorphine (heroin), morphine, opium, cannabis, amphetamine, lysergide (LSD), barbiturates and many others unless excepted by either:

• regulations made under Section 7 of the Act
• a licence issued by the Home Office Drugs Licensing

Telephone: 0207 035 0476/0484

2.10 Drugs precursor chemicals

International legislation

United Nations Convention against Illicit Traffic in Narcotic Drugs and Psychotropic Substances 1988 which defines the drugs and substances subject to international control.

EU legislation

Council Regulation (EC) No 273/2004 and Council Regulation (EC) 111/2005 as amended.

These regulations detail the drugs precursor chemicals which are subject to controls, the categories to which the chemicals belong and the documentation required depending on the category. 273/2004 deals with manufacture or supply within the EU. 111/2005 deals with imports/exports outside the EU and specifies which countries prompt a requirement for a licence.

UK legislation

UK regulations will enshrine and implement EU legislation.

2.11 Fish (to third countries only)

Salmon and trout caught at certain times and unclean and unseasonable salmon and trout caught at any time. Also see iIllegal, unreported and unregulated (IUU) fishing requirements and Dissostichus ssp (Patagonian toothfish/Antarctic toothfish).

2.12 Diamond Trading

International restrictions have been imposed on the trade in all ‘rough’ diamonds through the introduction of a certification scheme called the Kimberley Process. An original Kimberley Process certificate must accompany all exports of rough diamonds. The restrictions are in place to prevent the sale of rough diamonds fuelling conflict. Further information on these controls can be obtained from:

Telephone: 020 7008 6902/6903

2.13 CFCs and other ozone depleting substances

The export of specified substances and certain goods containing them (such as fridges) is prohibited. Further details are obtainable from:

Telephone: 020 7238/3205/3281/3163 6111
Fax 020 7238 3341

2.14 Fruit and vegetables

Certain types of fruit and vegetables are subject to conformity checks at the border prior to export and will only be released from customs control when these checks have been satisfactorily completed. Further information on these checks is available from:

Telephone: 01483 403 340

2.15 Dissostichus ssp (Patagonian toothfish/Antarctic toothfish)

Exports from the EU of Dissostichus ssp will need to be accompanied by authorised catch documentation as proof they were originally caught in accordance with the Convention on the Conservation of Antarctic Marine Living Resources (CCAMLR) or are compatible with illegal, unreported and unregulated (IUU) fishing requirements.

2.16 Cash

Under the Proceeds of Crime Act 2002 a HMRC officer may seize cash in amounts of £1,000 or more if there are reasonable grounds to suspect that it is either the proceeds of, or is intended for use in, unlawful conduct.

2.17 Illegal unreported and unregulated (IUU) fishing regulations

Exports of certain fish and fish products from EU require a catch certificate. Council Regulation (EC) 1005/2008, Commission Regulation (EC) No. 1010/2009 and Commission Regulation (EU) No. 86/2010 refer.

Further details including contacts are available from DEFRA.

3. The export licensing controls of government departments

3.1 Background to control and legal basis

Department of Business, Innovation and Skills controls

The Export of Goods, Transfer of Technology and Provision of Technical Assistance (Control) Order 2003 order (as amended) prohibits the export of specified military and paramilitary goods including civil firearms and explosives, without a licence. The controls are imposed by the Secretary of State for BIS under powers granted under the Export Control Act 2002.

EC dual-use items regulation

Council Regulation (EC) No 1334/2000 which applies throughout the EC, provides a licensing regime for the export of dual-use goods, ie civil goods that could have a military use. Certain goods need a license even when being transferred to other EUmember states and these are listed in Annex IV of the regulation. The provisions of the regulation are directly applicable in the UK, with additional implementing measures and national controls being provided in the control order mentioned above.

Licenses issued under the dual-use goods regulation for the export of goods outside the EU are valid in all member states.

Council Regulation (EC) 1236/2005 and the Export Control (Security and Paramilitary Goods) Order 2006

These regulations prohibit or restrict the export of equipment for capital punishment, torture or other degrading or inhuman treatment. Some controls apply to exports from the UK while others only apply when goods are exported from the EU. Contact BIS for advice.

The Export of Radioactive Sources (Control) Order 2006 prohibits without a licence the export from the UK of specified radionuclides.

Examples of goods subject to control

• arms, military, paramilitary equipment, aircraft and warships
• torture equipment eg stun guns and other electro shock belts and devices, leg irons, oversize handcuffs and restraint chairs
• high technology industrial goods such as certain computers, metalworking machinery, hovercraft, spacecraft, marine equipment, scientific instruments, strategic metals and minerals, chemicals, metalloids and toxins
• atomic energy, nuclear and radioactive minerals, materials and equipment
• goods with certain end-uses

3.2 End-use catch-all controls

Article 4.1–4.3 of Regulation (EC) No. 1334/2000 restricts the export without licence of any dual-use goods which the exporter has been informed by BIS, are capable of being used for chemical, biological or nuclear weapons/weapons of mass destruction purposes, or for military purposes in a destination subject to arms embargoes. Exporters who know the goods are for such purposes have a legal obligation to notify BIS. The control order provides that exporters who suspect that the goods will be used for weapons of mass destruction purposes must make all reasonable enquiries as to their proposed use to satisfy themselves that the goods will not be so used.

Department of Culture, Media and Sport controls

The Department of Culture, Media and Sport prohibits the export without licence of certain cultural goods, antiques and works of art over 50 years old. These controls are imposed under the Export of Goods (Control) Order 1992, which remains in force only as far as cultural goods are concerned and covers intra-EU movements of these goods, and under the Council Regulation (EEC) No 3911/92 on the export of cultural goods which covers the export of cultural goods to third countries.

Home Office licensing control of controlled drugs

It’s the Misuse of Drugs Regulations 2001 that set out the drugs in Schedules 1-5 and the conditions under which (as per Schedule 4 Part II and Schedule 5) they’re not subject to import/export (or any other) control. The Home Office drugs licensingincludes a list of controlled drugs and their classification under the Misuse of Drugs Regulations 2001. This list is not exhaustive and refers back to the notes in Parts I, II, III IV of Schedule 2 of the Misuse of Drugs Act 1971 and in Schedules 1 to 5 of the Misuse of Drugs Regulations 2001. Reference may also be made to Home Office Drugs Licensing who hold a more detailed list of drugs in Schedules 1 and 2 and to the Laboratory of the Government Chemist.

Home Office licensing control of individual export licence for drugs precursor chemicals

This section deals with the export of precursor chemicals used in the manufacture of controlled drugs. It does not cover chemicals which are used for other purposes such as the manufacture of explosives. The chemicals involved play a key role in the production, manufacture and preparation of synthetic or narcotic drugs and psychotropic substances. The Home Office is the competent authority in the UK, responsible for issuing export authorisations (licences) and ensuring that companies are aware of and are compliant with the requirements. An export authorisation (licence) may be refused by the Home Office if:

• there is good reason to suspect that the information supplied is false or inaccurate
• it’s established that the importation of the substance has not been properly authorised by the competent authority of the country of destination
• there is good reason to suspect that the substances in question are intended for illicit manufacture of synthetic or narcotic drugs or psychotropic substances – if suspicion arises after the export authorisation has been issued, it may be suspended or revoked

All UK companies requiring an authorisation (licence) to export precursor chemicals must be registered with the Home Office.

The controls are imposed by the Home Office, as the competent authority.

3.3 Types of licence

Strategic and cultural goods

There are a number of different types of export licence issued by BIS and the Department for Culture, Media and Sport:

Standard individual export licences (SIELs) authorise the exporter to export goods of specified quantities and kinds to specified destinations. Licences for large quantities are called ‘Bulk Licences’.

Open general export licences (OGELs) authorise the export of specified goods to some or all destinations by any exporter.

Community General Export Authorisation (CGEA) authorises the export of all but the most sensitive dual use goods to Australia, Canada, Japan, New Zealand, Norway, Switzerland and the United States of America.

Open individual export licences (OIELs) authorise the exporter to export unlimited quantities of specified goods to specified destinations.

EC Cultural Goods Licences

These are standardised licences which authorise export of certain categories of cultural goods outside the customs territory of the EU, either on a temporary or permanent basis. They are valid in any EU member state.

Types of licensing/authorisation for controlled drugs

When a successful application for an individual export licence has been made by the exporter online (see link address above) a paper licence will be issued by the Home Office. Exporters of large and frequent consignments of anabolic steroids and growth hormones might apply for an open individual export licence. Exporters of Schedule 2, 3 and 4 Parts I and II controlled drugs to the Channel Islands might also apply for an open individual export licence.

The 3 parts of the individual export licence are to be handled as follows:

• copy 1 – issue to the exporter and faxed for pre- clearance to HMRC National Clearance Hub (NCH) but original to be endorsed/returned by exporter (not HMRC) to issuing authority (Home Office)
• copy 2 – forwarded by UK issuing authority to competent authority in importing country
• copy 3 – applicant to send to counterpart in importing country

An open individual export licence should be faxed for pre-clearance to the NCH as proof of licence cover. The original need not be presented except in the event of a query.

It’s the responsibility of the exporter (not the shipping agent) to ensure that appropriate licence cover is obtained and properly declared and produced at export.

Individual export licence for drugs precursor chemicals

Find the full list of 23 drugs precursor chemicals regulated in the UK and all the requirements for each under EU legislation Council Regulation No. 273/2004 and Council Regulation (EC) 111/2005.

This link can be used to apply for a licence to trade and to submit an end user declaration but may not be used to apply for export authorisation.

Carbonised application forms for individual export licences (which will be issued as a paper document) should be obtained from:

Telephone: 0207 035 0480

The 4 parts of the individual export licence are to be handled as follows:

• copy 1 (green) – held by issuing authority (Home Office)
• copy 2 (blue) – issued to the exporter and faxed for pre-clearance to HMRC NCH then posted within 48 hours for original copy to be endorsed by NCH and returned by them to Home Office
• copy 3 (white) – to accompany goods
• copy 4 (pink) – to be retained by exporter

It’s the responsibility of the exporter (not the shipping agent) to ensure that appropriate licence cover is obtained and properly declared and produced at export.

3.4 Further information

The Department of International Trade Export Control Organisation explains how exporters can:

• apply for a licence
• check if they need a licence
• check if they can use an Open General Export Licence

Lists of goods, software and technology subject to strategic export controls are updated regularly.

The key export control legislation is the Export Control Act 2002 and the associated Export Control Order 2008

Some countries are subject to trade sanctions. Find out why governments put sanctions in place including:

• the range of sanctions applied, for example arms embargos
• whether other non-controlled items are brought under control
• what actions exporters should take if they are trading in sanctioned destinations

Exporters should also familiarise themselves with the rules on trade controls and brokering. Further information can be obtained from:

Telephone: 020 7215 4594
Email: eco.help@trade.gov.uk

3.5 Timely application

Licences should be applied for as soon as possible after receipt of the overseas customer’s order/letter of intent to purchase and before signature of any binding contract which may apply.

3.6 Special Licensing procedures for drugs precursor chemicals

Exports of Drugs Precursor Chemicals subject to Home Office export authorisation (licensing)

Operators, other than customs agents, warehouse keepers and carriers acting in that capacity, engaged in the import, export or transit of scheduled substances must be licensed or registered according to the procedures laid down by law.

EU legislation establishes general obligations that must be fulfilled by all operators regardless of the category to which a scheduled substance belongs. For the purpose of administrative surveillance, operators involved in the import, export or transit of scheduled substances are subject to the following obligations.

The commercial documents used to support the export must contain sufficient information to positively identify:

• the name of the scheduled substance
• the quantity and weight of the scheduled substance or, in the case of a mixture, the quantity and weight or percentage of its constituent substances
• the names and addresses of the exporter, the importer abroad, the distributor and if known the ultimate consignee

Operators must keep detailed records of transactions relating to the import, export or transit of scheduled substances. These records must be kept for a period of 3 years from the end of the calendar year in which a transaction took place and be readily available for inspection by the competent authorities.

Before the Home Office can issue an export authorisation for the export of precursor chemicals to certain countries abroad they require an import authorisation to be obtained from the competent authority in the country of destination. The Home Office has drawn traders’ attention to the fact that applications for individual export authorisations will not be processed without the necessary import authorisation (translated into English). If the Home Office becomes aware that a company is not respecting an importing country’s legal requirements then they will consider suspension or revocation of the licence to trade in precursors chemicals.

Operators involved with the export of one particular category 2 and any category 3 drugs precursor chemicals are obliged to register and update with the competent authorities the addresses of the premises at which they manufacture or trade in such substances. Exporters need not, however, register if their exports of scheduled substances or, in the case of mixtures, of scheduled substances contained in mixtures, in the course of a previous calendar year total less than:

Category 2	Amount
Potassium Permanganate	5 kg
Acetone	50 kg
Ethyl ether (Diethyl ether)	20 kg
Methylethylketone (MEK) (Butanone)	50 kg
Toluene	50 kg
Acetone	50 kg

Category 3	Amount
Sulphuric acid	100 kg
Hydrochloric acid	100 kg

However, they must register immediately if the above levels are exceeded in the course of a calendar year.

3.7 Exceptions to export licensing controls

An export licence is not required in the circumstances set out in the following paragraphs.

3.8 Legal exceptions to licensing control

The following are excepted from the need for an export licence by Article II of the ECTA(C)O 1994:

Firearms and ammunition

Any firearm (not over 50 years old) and related ammunition and telescopic sight to any destination in an EU member state if the firearm and ammunition form part of the personal effects of a person who is in possession of either a european firearms pass (or an equivalent document issued by an EU member state) and either:

• the pass or document authorises the possession of the firearm in the member state of destination and any member states which he may pass through
• the holder of the firearm can, if requested, satisfy the proper officer of HMRC at the place of export that the export of the firearm is for sporting or recreational use, the firearm is of a type for such use and that it is not being taken to or through a member state which prohibits or requires an authorisation for such a firearm

Any firearm (not being over 50 years old) and ammunition covered by a UK firearm certificate or shotgun certificate or visitor’s firearm or shotgun permit or Isle of Man firearm certificate to:

• any destination in an EU member state by any person or body specified in Article 2.2 of the EC Weapons Directive (Council Directive 91/477/EEC) or by the holder of an Isle of Man firearms certificate
• any destination other than Iran, or a country listed in Schedule 3 of the EGTA(C) O, provided that the firearm and ammunition form part of the personal effects of the holder of the certificate and the certificate is produced by the holder or his agent with the firearm and ammunition to the proper officer of HMRC at the place of export

Vessels

Any vessel registered or constructed outside the UK which is being exported after temporary importation into the UK except to one of the destinations mentioned below and provided that no military goods have been incorporated since importation other than as a component essential for departure of the vessel.

Any vessel which is temporarily departing from the UK on trials

Aircraft and helicopters

Any aircraft or helicopter which is being exported after temporary importation into the UK, providing that there has been no change of ownership or registration since such importation and that no military goods have been incorporated and that the aircraft is not destined for one of the countries listed below.

This includes any aircraft or helicopter on a scheduled journey.

3.9 Visiting Forces and International Headquarters

Goods listed in the EGTA(C)O Order 1994 do not need a licence when exported for official use by the bodies specified in the Visiting Forces and International Headquarters (Application of Law) Order 1999.

European Space Agency

Goods listed in the EGTA(C)O exported by or on behalf of the European Space Agency for its official use are excepted from the need for an export licence.

The European Space Agency (Immunities and Privileges) Order 1978

3.10 Crown and related exceptions

The following are excepted from the need for an export licence:

• exports being made by UK government departments, including goods consigned to HM Ambassadors, Ministers, High Commissioners, Governors-General or Governors of Commonwealth countries or colonies ¹
• temporary flights abroad of aircraft owned and operated by the Civil Aviation flying unit (administered by the Civil Aviation Authority)
• goods exported by or on behalf of the British Council or any destination, other than Iran, or a country listed in schedule 3 of the EGTA (C) O

4. Department of International Trade (DIT) strategic export licensing

Many goods are subject to DIT strategic export licensing control. All listed military, dual-use and paramilitary goods, civil firearms and explosives need a license before they can be exported from the UK. These can be found on consolidated list of strategic military and dual-use items that require export authorisation and firearms and export control forms.

Dual-use (goods that can have a civil or military application) need a licence before they can be exported from the Customs territory of the EU. These goods include (but are not limited to):

• certain chemicals and toxins
• electronics
• imaging equipment
• metals
• machine tools
• navigation and sonar equipment and nuclear goods.

A full and detailed list of goods affected by the control can be found on the DIT website. For general advice on strategic export control contact the Export Control Organisation (ECO) helpline on telephone: 020 7215 4594.